DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Upside Financial, LLC

Former SEC-registered adviserChicago, IllinoisCRD 173084SEC 801-78119IAPD
Latest filing Mar 30, 2016
First filing on the tape Sep 8, 2014 · 6 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2016
Apr 2, 2015$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 2, 20151 then
Employees (5.A)0 as of Mar 30, 2016
Apr 2, 20152 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T Judson Bergman · Presidentcontrol
        since 02/2015 · owns less than 5%
      • Jane Debra Devoe · Svp, Chief Compliance Officer
        since 02/2015 · owns less than 5%
      Entity owners
      • Upside Holdings, Inc. · Member
        direct · owns 75% or more
      • Envestnet, Inc. · Shareholder
        indirect · owns 75% or more of Upside Holdings, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 0
        Oct 21, 2015 to Mar 30, 2016
      • Employees · 1 to 0
        Oct 21, 2015 to Mar 30, 2016
      • Accounts · 57 to 0
        Apr 2, 2015 to Oct 21, 2015
      • BD registered reps · 1 to 0
        Apr 2, 2015 to Oct 21, 2015
      • Employees · 2 to 1
        Apr 2, 2015 to Oct 21, 2015
      • HQ city · SUNNYVALE to CHICAGO
        Apr 2, 2015 to Oct 21, 2015
      • HQ state · CA to IL
        Apr 2, 2015 to Oct 21, 2015
      • State-registered IARs · 1 to 0
        Apr 2, 2015 to Oct 21, 2015
      • Non-discretionary RAUM · $2.3M to $0
        Apr 2, 2015 to Oct 21, 2015
      • RAUM · $2.3M to $0
        Apr 2, 2015 to Oct 21, 2015
      • Accounts · 21 to 57
        Sep 30, 2014 to Apr 2, 2015
      • BD registered reps · 2 to 1
        Sep 30, 2014 to Apr 2, 2015
      • HQ city · SAN FRANCISCO to SUNNYVALE
        Sep 30, 2014 to Apr 2, 2015
      • Discretionary RAUM · $921,561 to $0
        Sep 30, 2014 to Apr 2, 2015
      • Non-discretionary RAUM · $0 to $2.3M
        Sep 30, 2014 to Apr 2, 2015
      • RAUM · $921,561 to $2.3M
        Sep 30, 2014 to Apr 2, 2015
      • Related adviser · false to true
        Sep 30, 2014 to Apr 2, 2015
      • Discretionary RAUM · $0 to $921,561
        Sep 8, 2014 to Sep 30, 2014
      • Non-discretionary RAUM · $921,561 to $0
        Sep 8, 2014 to Sep 30, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026